NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Region P — *—• in the Matter of the Arbitration Between Kenneth Lang Claimant Case #87-00853 vs. Award Quick & Reilly, Inc. Robert Bott Respondents The undersigned, being the Arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in submissions to arbitration signed by the parties on May 15, 19

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles Killian Claimant(s) vs. Brever Capital Corp. & Steve Rozinski. Respondent(s) AWARD 87-00027 The Arbitrator, John W. Jerak, having been selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents f set forth in a submission to arbitration signed by the parties on December 12, 1986 and Ju

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Doug Paul Claimant(B) vs. 85-01399 National Discount Securities Corp., Jim Famularo and Mark Rattner Respondent(a) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Doug Paul alleged that Respondent(s) National Discount Securities Corp., Jim Famularo and Mark Rattner made misrepresentations. Respondent (s) did not respond. RELIEF REQ 1

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Byron B. Woertz and Edith Woertz vs. Claimants Securities Settlement Corporation Spear, Leeds & Kellogg Securities, Inc. vs. Kennedy Cabot & Co., Inc. Respondents AWARD #86-00049 The undersigned, being the arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimants and Respondents as set forth in sub

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Annette Ford Claimant ) Case #87-00573 ) vs. ) Award ) WZW Financial Services, Inc. Swinton B. Burkhalter Landsing Capital Corporation Respondents On April 26, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimant Annette Ford, and by Respondents WZW Financial Se

Region L? \J4^ Volume ^ r Number/ NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between ) STUART E. WARREN, JR. et al. ) Claimants ) E.F. HUTTON & CO., INC., PRUDENTIAL ) NASD No. 87-00464 BACHE SECURITIES, INC. and CHARLES ) GREENBERG ) Respondents ) Case Summary The original statement of claim was filed with the NASD on March 6, 1987 by Sussman and Samson, Ltd. ("Sussman") on behalf of Stuart

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles B. Webber Claimant(s) vs. Robert S.C. Peterson, Inc., Prudential-Bache Securities, Inc. and Al Larson Respondent(s) NOTICE OF ARBITRATION AWARD 87-00264 CASE SUMMARY Claimant(s) Charles B. Webber alleged that Respondent(s) Robert S.C. Peterson, Inc., Prudential-Bache Securities, Inc. and Al Larson executed an unauthorized purchase and

NASO N.A.S.D. AWRRD MRTlCNftL ASSOCIATION OF SECURITIES DEALERS Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitenai! Street New York. New York 1000' In the Matter of the Arbitration Between Susan Blumenthal Stix vs. Ngme of Case * 88-02311 AMRD Shearson Lehman rfiitton, Inc. James Bresman Claimant, Susan Blumenthal Stix, alleges that Respondents, Shearson Lehman Hutto

N.A.S.D. AWARD NMTCKM. ASSOCmiCN OF b'HAIRlTUJJ DEALERS la the Matter of the Arbitration Between Harrison L. & Saznnie L. Harris, JIKROS vs NASD Arbitration No. 91- 01619 Adams Securities, Inc. Brian Coughlin par Claimant: la Pro Se For P«*B^» ^i^an^gf r>»»H«^ Bagdanov - OT? ^anfa officer for Securities, Inc. " - Trt pro Se Statement of ^»< » filed: May 24, 1391 Subndsaioa Agreement signed out ifey 18, 1991 Statement of Answer

N.A.S.D. AWARD NftTICNAL ASSOCIATXCN OF SECURITIES DEALERS In the Matter of the Arbitration Between. Name of Lynn M. Coyne vs. 91-01358 Sbearson Lehman Button, Inc. Karl Grace Ellen TaJsagi Par Claimant: Michael L. Paule, Investors Axbitxaticn Service, Woodland Hills, California For Beepondents: Terry Rosa, Esq., Keesal, Young & Logan, Long Beach, California. Statement of ^-»« filed* April 30, 1991 daiamt's Suboisalon Agreement s